Director, Regulatory Compliance - IIROC
- Employer: IA Securities Inc.
- Office: 522, University Avenue
- City: Toronto
- Province: Ontario
- Job category: Legal and Compliance Services
- Job ID: JR10004245
- Job type: Permanent Job Full time
iA Financial Group is the fourth largest life and health insurance company in Canada and offers a wide range of products for all stages of life and to meet the needs of clients across its vast sales network. Founded in 1892, iA Financial Group’s stability and solidity make it an employer of choice that invests in its employees and their development over the long term.
With operations across Canada and in the United States, iA Financial Group and its over 5,000 employees work hard every day to offer the best service to over four million clients.
- Responsible for monitoring regulatory developments, informing business lines of such developments and developing and implementing policies and procedures which will ensure compliance with regulations at all times. This may include, but is not limited to:Implementation of Client Focused Reforms (31-103)
- Interpretation and implementation of conflict of interest and governance regulations
- Interpretation and implementation of policies on vulnerable clients
- Responsible for the development, implementation and oversight of the compliance reporting framework for the line of business, including reporting to the CCO, Board and iA CCO where applicable
- Responsible for the oversight of AML and Privacy programs including:
- Policy development for the dealer
- Implementation of controls and internal policies
- Regulatory reporting of incidents
- Supervision and handling of decisions related to breaches of privacy
- Liaison with IAFG to ensure cohesion and harmonization with group policies
- Coordination of ongoing employee and advisor training on both programs
- Other duties including:
- Account documentation requirements
- Estates, trust, complex accounts
- Regulatory relationship
- Capital Markets
- Investment banking
- Minimum of 10 years of industry experience
- Canadian Securities Course (CSI Partners, Directors and Officers Course is a plus)
- University diploma in law or other relevant discipline
- Good, current knowledge of: regulations including relevant National Instruments, MFDA, IIROC and other SRO Rules, Policies and Regulatory Notices, CSA National and Multilateral Instruments, applicable provincial and territorial securities rules and regulations; and other applicable regulatory requirements such as AML/CTF and Privacy as may be applicable or implemented from time to time.
- Good understanding of the firm’s compliance, general policies and procedures and business practices.
- Good understanding of the general characteristics, attributes and risk factors associated with various securities and investment strategies for the purpose of assessing matters such as the suitability and legitimacy of investment strategies.
- Strong written and verbal communication skills.
- Superior knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research.
- Sound judgement and communication and people skills in order to effectively interact with staff, branches, regulators and complainants. Effective reporting to senior management is a critical component of the job.
- Ability to evaluate risk, identify control weaknesses, contribute to development of policies, implement supporting procedures and report on non-compliance effectively
iA Financial Group is committed to having an equal access employment program and welcomes applications from women, visible minorities, Aboriginal peoples and disabled persons. Any use of the masculine form is to simplify the text and includes the feminine form.
Also, we are committed to fostering a workplace that promotes diversity and inclusion. We can provide accommodation in our recruitment and selection processes to applicants with disabilities where required. Please contact your Recruiter, or send an email to email@example.com.